Washington Code — 21
Browse 184 sections in division 21 of the Washington code. Each section page includes the full statutory text, official source links, and citation guidance.
Sections (showing up to 300)
- § 21.20.005. Definitions.
- § 21.20.010. Unlawful offers, sales, purchases.
- § 21.20.020. Unlawful acts of person advising another.
- § 21.20.030. Unlawful acts of investment adviser.
- § 21.20.035. Unlawful purchases or sales for customer's account.
- § 21.20.037. Variable contracts — Registration required — Rules.
- § 21.20.040. Registration and notification required — Exemptions.
- § 21.20.050. Application for registration — Filing of documents — Consent to service of process — Fee.
- § 21.20.060. Contents of application for registration — Capital requirements.
- § 21.20.070. When registration effective — Requirements determined by rule.
- § 21.20.080. Duration of registration — Association with issuer, broker-dealer, federal covered adviser, or investment adviser — Notice to director — Extension of licensing period.
- § 21.20.090. Renewal of registration — Financial reports — Application for a successor.
- § 21.20.100. Accounts, correspondence, memoranda, papers, books, and other records — Release of information — Correction of filed document — Examination.
- § 21.20.110. Director may deny, suspend, revoke, restrict, condition, or limit any application or registration — Director may censure or fine registrant — Grounds — Procedures — Costs — Accounting.
- § 21.20.120. Denial, suspension, revocation of registration — Order — Request for, notice of hearing — Findings and conclusions.
- § 21.20.130. Cancellation of registration or application — Grounds.
- § 21.20.135. License as salesperson or broker-dealer prerequisite to suit for commission.
- § 21.20.140. Unlawful to offer or sell unregistered securities — Exceptions.
- § 21.20.180. Registration by coordination — Requirements — Statement, contents.
- § 21.20.190. Time of taking effect of registration statement by coordination — Conditions — "Price amendment", notification.
- § 21.20.200. Failure to notify of price amendment, proof of compliance — Stop order — Waiver of certain conditions.
- § 21.20.210. Registration by qualification — Statements — Requirements — Audits.
- § 21.20.220. Information not required when nonissuer distribution.
- § 21.20.230. Time of taking effect of registration statement by qualification — Conditions.
- § 21.20.240. Registration statements — Generally.
- § 21.20.250. Registration by qualification or coordination — Escrow — Impounding proceeds.
- § 21.20.260. Registration by coordination or qualification — Offer and sale — Duration of effectiveness.
- § 21.20.270. Reports by filer of statement — Annual financial statements.
- § 21.20.275. Pending registration — Notice of termination — Application for continuation.
- § 21.20.280. Stop orders — Grounds.
- § 21.20.290. Stop order prohibited if facts known on effective date of statement.
- § 21.20.300. Notification of entry of stop order — Hearing — Findings, conclusions, modification, etc.
- § 21.20.310. Securities exempt from registration.
- § 21.20.320. Exempt transactions.
- § 21.20.325. Denial, revocation, condition, of exemptions — Authority — Procedure.
- § 21.20.327. Required filings — Consent to service — Failure to comply — Rules — Fees.
- § 21.20.330. Consent to service of process — Service, how made.
- § 21.20.340. Fees — Disposition.
- § 21.20.350. False or misleading statements in filed documents.
- § 21.20.360. Filing, registration, statement, exemption not conclusive as to truth or completeness — Unlawful representations.
- § 21.20.370. Investigations — Statement of facts relating to investigation may be permitted — Publication of information — Use of criminal history record information.
- § 21.20.377. Subpoena authority — Application — Contents — Notice — Fees.
- § 21.20.380. Oaths — Subpoenas — Assisting another state — Compelling obedience — Punishment.
- § 21.20.390. Injunction, cease and desist order, restraining order, mandamus — Appointment of receiver or conservator for insolvent — Restitution or damages — Costs — Accounting.
- § 21.20.395. Administrative action — Hearing — Judicial review — Judgment.
- § 21.20.400. Penalty for violation of chapter — Limitation of actions.
- § 21.20.410. Attorney general, prosecuting attorney may institute criminal proceeding — Referral of evidence by director.
- § 21.20.420. Criminal punishment, chapter not exclusive.
- § 21.20.430. Civil liabilities — Survival, limitation of actions — Waiver of chapter void — Scienter.
- § 21.20.435. Assurance of discontinuance of violations — Acceptance — Filing.
- § 21.20.440. Judicial review of order — Modification of order by director on additional evidence.
- § 21.20.450. Administration of chapter — Rules and forms, publication — Cooperation with other state and federal authorities.
- § 21.20.460. Administrator of securities — Appointment, qualifications, term, etc.
- § 21.20.470. Compensation, travel expenses of administrator and employees.
- § 21.20.480. Unlawful use or disclosure of filed information.
- § 21.20.490. No liability under chapter for act in good faith.
- § 21.20.500. Administrative hearings public — Exception.
- § 21.20.510. Document filed when received — Register — Inspection of register, information, etc.
- § 21.20.520. Copies of entries, documents to be furnished — Copies as prima facie evidence.
- § 21.20.530. Interpretative opinions by director.
- § 21.20.540. Exemptions, exceptions, and preemptions — Burden of proof.
- § 21.20.700. Investigations and examinations — Additional authority — Scope.
- § 21.20.702. Suitability of recommendation — Reasonable grounds required.
- § 21.20.810. Application of chapter not limited.
- § 21.20.855. Examination reports and information — Exempt from public disclosure — Use in civil actions.
- § 21.20.860. Construction — Chapter applicable to state registered domestic partnerships — 2009 c 521.
- § 21.20.880. Small securities offerings — Exemptions — Annual reports — Disqualification provisions — Rules.
- § 21.20.900. Construction to secure uniformity.
- § 21.20.910. Saving — Civil, criminal proceedings.
- § 21.20.915. Saving — Prior effective registrations.
- § 21.20.920. Application of prior law.
- § 21.20.925. Judicial review of prior administrative orders.
- § 21.20.930. Solicitation permits under insurance laws not limited.
- § 21.20.935. Repealer.
- § 21.20.940. Short title.
- § 43.320.011. Department of general administration and department of licensing powers and duties transferred.
- § 9.47.080. Bucket shop defined.
- § 9.47.090. Maintaining bucket shop — Penalty.
- § 19.105.510. Resort contracts — Nonapplicability of certain laws — County and city powers.
- § 64.04.105. Corporate seals — Effect of absence from instrument.
- § 64.36.290. Application of chapters 21.20, 58.19, and 19.105 RCW — Exemption of certain camping and outdoor recreation enterprises.
- § 9.24.010. Fraud in stock subscription.
- § 9.24.020. Fraudulent issue of stock, scrip, etc.
- § 9.47.100. Written statement to be furnished — Presumption.
- § 21.30.005. Intent.
- § 21.30.010. Definitions.
- § 21.30.020. Transactions involving commodity contract or option — Prohibition — Exceptions.
- § 21.30.030. Transactions conducted by certain persons exempt from prohibition under RCW 21.30.020.
- § 21.30.040. Transactions and contracts exempt from prohibition under RCW 21.30.020 — Rules.
- § 21.30.050. Commodity merchants — Place for trading commodity contract or option — Requirements.
- § 21.30.060. Prohibited practices.
- § 21.30.070. Responsibility for acts or omissions — Liability — Burden of proof.
- § 21.30.080. Offers to sell or buy in this state — Application of RCW 21.30.020, 21.30.050, and 21.30.060.
- § 21.30.090. When publications or electronic communications not deemed offers to sell or buy in this state.
- § 21.30.100. Investigations — Statements — Publication of information.
- § 21.30.107. Subpoena authority — Application — Contents — Notice — Fees.
- § 21.30.110. Investigations — Evidence — Subpoenas — Court orders of compliance.
- § 21.30.120. Violations — Director's authority — Court actions — Penalties.
- § 21.30.130. Violations — Court-ordered remedies — Penalties — Bond by director not required.
- § 21.30.140. Willful violations — Penalty — Limitation on actions.
- § 21.30.150. No liability under chapter for act in good faith.
- § 21.30.160. Unlawful use or disclosure of information.
- § 21.30.170. Information — Availability to public — Exceptions.
- § 21.30.180. Cooperation with other agencies or organizations.
- § 21.30.190. Consent for service of process — Service, how made.
- § 21.30.200. Administrative proceedings — Summary order — Notice — Hearing — Final order.
- § 21.30.210. Application of chapter 34.05 RCW, the administrative procedure act.
- § 21.30.220. Pleading exemptions or exceptions — Burden of proof.
- § 21.30.230. Application for licensing.
- § 21.30.240. Fees.
- § 21.30.250. Examinations — Waiver.
- § 21.30.260. Expiration of licenses — Authority under commodity sales representative license — Notification of changes.
- § 21.30.270. Multiple licenses, when permitted.
- § 21.30.280. Classification of licenses — Limitations and conditions of licenses.
- § 21.30.290. Annual report and fee.
- § 21.30.300. Minimum net capital and fidelity bond requirements.
- § 21.30.310. Financial and other reports.
- § 21.30.320. Records.
- § 21.30.330. Correcting amendments of information in application or financial and other reports — Exception.
- § 21.30.340. Examination of records — Copies — Fees.
- § 21.30.350. Denial, suspension, revocation, or limitation of license — Grounds.
- § 21.30.360. Violations — Prosecuting attorney may bring criminal proceedings.
- § 21.30.370. Penalties in chapter nonexclusive.
- § 21.30.380. Administration of chapter under director of financial institutions.
- § 21.30.390. Administrator — Appointment — Delegation of duties — Term.
- § 21.30.400. Director's powers and duties — Rules, forms, and orders — Fees.
- § 21.30.800. Securities laws not affected.
- § 21.30.810. Construction and purpose.
- § 21.30.901. Effective date — 1986 c 14.
- § 43.320.011. Department of general administration and department of licensing powers and duties transferred.
- § 21.35.005. Definitions.
- § 21.35.010. Security registered in beneficiary form — Ownership.
- § 21.35.015. Registering a security in beneficiary form — Authorization.
- § 21.35.020. Registering a security in beneficiary form — Designation of beneficiary.
- § 21.35.025. Registering a security in beneficiary form — Words of designation.
- § 21.35.030. Designation of a TOD or POD beneficiary — Effect on ownership — Cancellation or change.
- § 21.35.035. Death of owner or owners — Ownership passes to beneficiaries.
- § 21.35.040. Registering entity — Protection.
- § 21.35.045. Transfer on death — Contract — Rights of creditors.
- § 21.35.050. Registering entity — Terms and conditions — Forms authorized.
- § 21.35.900. Short title — Statutory construction.
- § 21.35.901. Application.
- § 21.35.902. Construction — Chapter applicable to state registered domestic partnerships — 2009 c 521.
- § 21.40.005. Definitions.
- § 21.40.010. Rules and regulations.
- § 21.40.020. Award — Original material — Successful enforcement.
- § 21.40.030. Disclosure of whistleblower identity.
- § 21.40.040. Amount of award limited.
- § 21.40.050. Authority to determine award amount — Securities administrator.
- § 21.40.060. Payment from securities prosecution fund.
- § 21.40.070. Determination of award amount — Factors.
- § 21.40.080. Prohibition on awards for certain whistleblowers.
- § 21.40.090. Retaliatory action unlawful — Exceptions — Action for relief — Miscellaneous.
- § 21.40.900. Short title — 2023 c 149.
- § 43.320.005. Finding.
- § 43.320.007. Regulatory reform — Findings — Construction — 1994 c 256.
- § 43.320.010. Department created.
- § 43.320.011. Department of general administration and department of licensing powers and duties transferred.
- § 43.320.017. Collective bargaining agreements.
- § 43.320.020. Director — Salary — Powers and duties — Examiners, assistants, personnel.
- § 43.320.030. Director — Qualifications — Conflicts of interest.
- § 43.320.040. Director's authority to adopt rules.
- § 43.320.045. Director's duties — Dissemination of information.
- § 43.320.050. Assistant directors — Divisions — "FDIC" defined.
- § 43.320.060. Deputization of assistant to exercise powers and duties of director.
- § 43.320.070. Oath of examiners — Liability for acts performed in good faith.
- § 43.320.080. Director to maintain office in Olympia — Record of receipts and disbursements — Deposit of funds.
- § 43.320.090. Borrowing money by director, deputy, or employee — Penalty.
- § 43.320.100. Annual report — Contents.
- § 43.320.110. Financial services regulation fund.
- § 43.320.115. Securities prosecution fund.
- § 43.320.140. Mortgage lending fraud prosecution account — Created. (Expires June 30, 2027.)
- § 43.320.150. Financial literacy and education programs.
- § 43.320.1501. Financial literacy — Report to governor and legislature.
- § 43.320.180. Review of retirement account products proposed for inclusion in the Washington small business retirement marketplace.
- § 43.320.190. Confidential information — Public records act exemption.
- § 43.320.500. Financial institution service providers — Definitions.
- § 43.320.510. Financial institution service providers — Examination.
- § 43.320.520. Financial institution service providers — Reports of examination from other agencies.
- § 43.320.530. Financial institution service providers — Confidentiality of reports of examination.
- § 43.320.540. Financial institution service providers — Examination and information sharing agreements.
- § 43.320.550. Financial institution service providers — Enforcement.
- § 43.320.560. Financial institution service providers — Power of director — Rule making.
- § 43.320.900. Effective date — 1993 c 472.